About Michael J. Diver

Michael Diver has built a national practice advising public companies, financial services firms and individuals in securities litigation and regulatory investigations. In these high-stakes matters, Michael's past experience as a branch chief in the Enforcement Division of the Securities and Exchange Commission (SEC) gives him valuable perspective, and he has a long track record of achieving very favorable results for his clients.

As an Enforcement Division branch chief, Michael managed a team of SEC enforcement attorneys in investigating and prosecuting securities law violations, including matters involving complex financial fraud, market manipulation, insider trading and violations of broker-dealer, investment adviser and investment company regulations.

Applying his government experience in private practice, Michael represents public companies, financial institutions and their individual officers and directors in regulatory matters and civil litigation. With over 20 years of experience, Michael is adept at devising effective defense strategies to address legal risks across a broad spectrum of circumstances. He is often called upon to defend clients that are facing concurrent private actions and regulatory investigations, and to defend against claims involving complex legal or compliance issues.

In addition to handling investigations and litigation, he also regularly advises clients in connection with corporate governance matters, shareholder claims, financial restatements, internal investigations and Financial Industry Regulatory Authority, Inc. (FINRA) and stock exchange inquiries.

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"A client says: 'He's very effective in helping us to understand how the process works and the kind of tactical plan for how to handle it. He helps steer us on every major decision we have to make.'"

Chambers USA 2019
(Illinois, Litigation: General Commercial) survey response

Practice Focus

  • Securities litigation and enforcement
  • Financial services litigation
  • White-collar and internal investigations
  • Insider trading
  • Broker-dealer regulation
  • Asset management
  • Foreign Corrupt Practices Act

News

Publications

Presentations and Events

  • Katten's Annual Financial Markets Litigation and Enforcement Symposium Series
    Panelist | Hot Topics in Securities Regulatory Enforcement.
    October 15, 2020
  • Insider Trading Compliance: Trends and Legal Developments Impacting Policies and Procedures
    Presenter | A Strategic-Asset General Counsel Series Webinar
    January 23, 2020
  • Katten's Annual Financial Markets Litigation and Enforcement Symposium
    October 10, 2019
  • Understanding the Securities Laws 2019
    Moderator | Navigating Ethics and Professionalism Requirements in Securities Law Practice
    September 18–19, 2019
  • The Society for Corporate Governance
    Presenter | Trends and Legal Developments Impacting Insider Trading Compliance Policies and Procedures and Rule 10b5-1
    September 10, 2019
  • Financial Services Litigation Symposium
    Panelist
    October 2, 2018
  • Understanding the Securities Laws 2018
    Presenter | Navigating Ethics and Professionalism Requirements
    September 27, 2018
  • Understanding the Securities Laws 2017
    Presenter | Navigating Ethics and Professionalism Requirements
    September 28, 2017
  • PLI Internal Investigations 2017
    Speaker
    June 7, 2017
  • View All Presentations and Events
Practices
Industries
Education
  • Lewis & Clark Law School, JD
  • Bucknell University, BA
Bar Admissions
  • Illinois
  • New York
Court Admissions
  • US District Court, Northern District of Illinois
Community Involvements
  • American Bar Association
  • Association of Securities and Exchange Commission Alumni
  • The Chicago Bar Association
Recognitions
  • BTI Client Service All-Star
    2014
  • Chambers USA
    Securities: Regulation: Enforcement, 2018–2019
    Litigation: Securities, 2019-2020
  • Super Lawyers
    Illinois, 2017–2021
  • The Legal 500 United States
    Next Generation Lawyer, 2019–2020
    Recommended Attorney, 2015–2017, 2020